Peter Roth has been an investment adviser representative at Roth Financial Partners since October 2020, and is not listed among the firm’s executive officers or direct owners. Peter Roth holds a Bachelor of Science in engineering from Purdue University and a Master of Science in engineering from Purdue University.
Roth Financial Partners LLC is a Kingwood, TX firm with $460M under management, 267 clients and 3 advisers across 2 offices, as of its February 2026 filing.
Peter B. Roth is Founder of Roth Financial Partners, where he is the primary point of contact and lead advisor. He has been advising clients since 1983. He moved to Houston in 1977 after joining Exxon as a drilling engineer, and he moved to independence in May 2010 after most of his career at a major broker/dealer.
Peter Roth’s longest registration was 10 years at UBS Financial Services Inc. (1999–2010). Before joining Roth Financial Partners in 2020, Peter Roth was registered through Raymond James Financial Services Advisors, Inc and UBS Financial Services Inc.
- Roth Financial Partners LLCCurrent– present · 6 yearsKingwood, TX · Adviser representative · Firm CRD 309814
- Raymond James Financial Services Advisors, Inc– · 10 yearsKindwood, TX · Adviser representative · Firm CRD 149018
- UBS Financial Services Inc.– · 10 yearsHouston, TX · Adviser representative · Firm CRD 8174
Professional designations
Listed by Roth Financial Partners
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Investment Management Analyst® (CIMA®)
Investment adviser representative registrations
Peter Roth is registered as an investment adviser representative in Texas, since October 2020.
- TexasSince 2 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 4 March 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 October 1983 |
| Series 7 | General Securities Representative Examination | 15 October 1983 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Peter Bruce Roth
- CRD
- 1201110
- Firm
- Roth Financial Partners · CRD 309814
- Office
- 855 ROCKMEAD DRIVE, SUITE 703, Kingwood, TX 77339
- Registration
- Investment adviser registration
- In the industry since
- October 1983
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- rothfinancialpartners.com
Where does Peter Roth work?
Peter Roth is an investment adviser representative registered through Roth Financial Partners LLC since October 2020, and is not listed among the firm’s executive officers or direct owners.
Is Peter Roth a financial advisor?
Yes. Peter Roth has a current investment-adviser registration in Texas, through Roth Financial Partners since October 2020.
How many years of experience does Peter Roth have?
Peter Roth has 43 years in the financial industry, since October 1983, across 3 adviser firms.
What exams has Peter Roth passed?
Peter Roth has passed 3 licensing exams: the Series 7, Series 63 and Series 8. The earliest, the Series 7, was passed in October 1983. FINRA credited Peter Roth with the SIE, which began in October 2018.
Where did Peter Roth work before Roth Financial Partners?
Before Roth Financial Partners, Peter Roth was registered through Raymond James Financial Services Advisors, Inc, May 2010 to October 2020; UBS Financial Services Inc., November 1999 to May 2010.
Where is Peter Roth based?
Peter Roth’s registered office is in Kingwood, TX.
Is Peter Roth registered with FINRA?
No. Peter Roth has no current broker registration.
Is Peter Roth a CFP?
Roth Financial Partners lists Peter Roth with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Peter Roth’s record?
Search CRD 1201110 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Peter Roth’s full registration record.
